【作者】 徐秉晖；

【导师】 顾培东； 卢代富；

【作者基本信息】 西南政法大学 ， 经济法， 2009， 博士

【摘要】 本文以经济转型期为研究背景,力图对经济转型过程中经济与法之间存在的某些特殊关系进行诠释。从结构上看,文章首先研究了中国经济转型的模式及其特征,并对经济转型期的经济法本身调整进行了梳理总结;其次,在马克思的上层建筑反作用于经济基础的理论指导下,文章还研究了中国经济法在中国经济转型过程中对所有制结构、市场体系等方面所起的重要作用,并顺同研究了此种背景下经济法对税收体制、政府职能变革的调控;最后,文章以经济转型完成后中国经济法的应然状态和应有功能作出展望,在这部分系统阐述了中国经济法在经济转型完成后经济法的新使命。文章分为四章,第一章是中国经济转型与经济法的概述。在该部分,笔者首先分析了中国转型的阶段与特征,认为改革开放以来的经济转型主要以经济政策和经济规则作指导和保障,自20世纪90年代,经济转型所需各类制度陆续建立,经济法体系逐渐完备。21世纪后,经济转型进入纵深发展阶段,已有的经济法律制度适时进行废、改、立。中国作为渐进式经济转型的代表,与俄罗斯代表的激进式经济转型模式在转型背景、路径、方式、目标等方面存在巨大差异。中国经济转型具有分权、渐进、双轨、试点、政府主导以及目标层进等特征。其次,为拓宽研究视野,笔者对中西经济法进行了多方面的系统比较,认为中西经济法在产生背景、发展阶段、价值理念、法律特征等方面都存在明显差异,针对这些差异,文章分析指出,中国经济法所具有的这些特点是同我国经济转型模式的独特性息息相关的。在该章的最后一部分,笔者对中国经济转型特征与中国经济法特征之间的关系作了总结,认为经济转型的分权特征、渐进式模式、双轨制体制、试点型方式以及政府主导型等特征对于经济法的立法量、立法目标以及经济法相关理论发展都有着各种各样的关系。第二章是关于处于经济转型中的中国经济法研究。自新中国成立以来近四十年的时间经济法立法基本上处于停滞状态,各种经济立法不仅因滞后而显得不合时宜,而且经济立法本身的理论基础就缺乏说服力。经济立法在经济转型过程中发生了巨大转变,如从受制性立法到自主性立法、从立法主体的单一化到多元化和规范化、从立法程序的封闭化到民主化、从立法权限的模糊到明晰、从立法目的政治化到独立化等方面的转变,而对这些转变的研究正是我们研究新背景下经济法发展的重点之一。文章还认为,经济法在经济转型的背景下不仅存在以上转变,而且经济法最重要的东西,即立法内容也发生了质的飞跃,包括市场主体的地位调整、市场规制的方向转变、宏观调控的手段变化乃至税收法律、社会保险法律的巨大变化都表明经济法在经济转型环境下获得了新的活力。而在经济法的理论上,经济法的地位在短短十余年的时间里实现了从“大经济法”、“纵横经济关系统一调整论”到“经济行政法”、“综合部门法”再到现在的“国家调节法”、“需要干预论”的三次大转变,可以说,目前的经济法定位是比较理性的。最后,文章从司法实践的角度论述了经济法司法出现的新现象和新问题。文章指出,经济法司法因司法的难度和特殊性,以及中国法官、法院的现实局限性这些因素决定了中国经济法在司法方面仍然非常不成熟,文章分析了经济法司法过程中出现的新情况和新问题并提出了相应的解决方案。第三章是经济法对中国经济转型的作用研究。在该部分,笔者首先从宏观的角度考察了经济法对商品市场、资本市场、劳动力市场等市场在形成和构建、规范和治理过程中所起的重要作用。其后,文章对经济法与所有制结构变革之间的关系进行了一般性描述。具体到中国,文章认为经济法对于非公有制经济的诞生、以体制外发展的方式发展以及制度环境保障等方面作出了突出的贡献,但不足的是,经济法在非公有制经济的市场准入和融资环境方面还存在较为明显的差别待遇。而经济法对于公有制经济,尤其是国有企业,包括国有独资企业和国有控股企业的改革也产生了重大影响。文章认为,经济法在促进国企改革的广度与深度、帮助国企实现从政府附属到市场独立主体的蝶变、国企内部的治理结构模式、产权明晰、资产监管等方面提供制度性保障和指引。其次,文章也论及到经济法在农村经济改革中的作用,认为经济法对包括家庭联产承包制、乡镇企业以及农村经合组织等在内的多种经济体发展提供了有力的制度保障,文章也具体指出了这些制度保障在各种经济体运作过程中所起的实际效用。再者,作为经济转型的一大平衡木,税收体制也处于经济法的作用范围之内,而目前税收体制的改革方面正不断同经济法其他领域的改革融合,税法上长期存在的差别待遇正逐渐消除。最后,文章对经济法在政府职能变革领域存在的缺位、错位和到位问题进行论述。文章指出,在经济转型前期和中期,经济法的缺位和错位致使社会分配改革严重滞后,政府在合理公平分享改革成果上的职责未得到界定和约束;在经济转型后期,经济法的逐步到位,各种法的不断完善加快了政府的职能转变进度,切实保障了经济的实质公平和社会稳定。第四章是经济转型完成后中国经济法的定位研究。在此部分,笔者首先对中外学者关于经济转型完成的标志作了一般性介绍,随后提出中国经济转型完成的标志是社会主义市场经济体制得以建立,具体体现为市场、政府、社会三种资源配置方式得到良性运行;经济增长模式从资本、劳动力型为主实现以生产驱动型经济增长模式为主;城乡之间、地区之间、行业之间、企业之间的制度差别待遇真正终结,实现制度公平;政府干预经济的权力和行为受到法律的有效界定和规制。其次,笔者认为经济转型完成后,国家仍需对经济进行干预,国家干预经济的主要手段和媒介只能是经济法。最后,笔者从2008年全球性金融危机的爆发反思国家干预经济的必要性和经济法的价值理念及功能定位。认为,经济转型完成后,中国经济法符合法治的需要,成为一种公共意见,人本主义和法的有效性更充足。中国经济法的功能定位从经济转型中的构建培育市场、督促政府放权让利,服从经济改革的工具,向有效维护经济秩序、有力保障经济安全、合理配置经济资源、均衡发展经济、公平分享经济利益转变。中国经济法的国际竞争力和有效性将逐渐增强,并为中国经济的协调发展、均衡发展、共同发展、科学发展提供新的法律保障和助动。更多还原

【Abstract】 The paper aims to argue the special relationship between Economics and Law through the economic transformation. Firstly, the paper analyzes the model and character of the economic transformation and summarizes the self- adjustment of the Economic Law during the economic transformation. Secondly, in the guidance of Marx’s theory of the retroact of superstructure on the economic foundation, the paper further goes to explain the P.R.C Economic Law has taken important role in the Ownership Structure, the Market System in the Chinese economic transformation, and the control to the revenue systems and governmental responsibility by the economic law. At last, the paper closed with a trend analysis of Chinese economic law when the economic transformation is succeeded. This part systematically analysis the new mission of the economic law in Chinese economic transformation.The paper is consisted with 4 chapters. Chapter I is a brief introduction of Chinese economic transformation and economic law. In this chapter, author defines the phases and characters of China Transformation and argues that the economic transformation after the Reform and Open is under the guide and safeguard of economic policies and economic rules. From nineteen nineties, the systems for economic transformation are emerging one by one, and a fine economic system becomes to be true. After 21st century, economic transformation goes on, the existing economic and law systems is abolished, amended or passed. Chinese economic transformation is great different with Russian, at transformation background, method, style and object, while China may be a representative of moderate economic transformation and Russian is urgent. In the following part, in order to expand research points, the author systematically compares the economic law between China and developed countries, and find out there are differences in background, developing phases, value views, legal character. According to these differences, the paper points out that Chinese specific transformation model makes great contribution. In the last part, the author concludes the relationship between economic transformation character and that of economic law.Chapter II gives a research of economic law in the economic transformation. In 40 years since P.R.C Foundation, economic law almost stayed in their place. The economic law became out of time because of the standstill and the basis theory for the economic law became less convincing. However the economic law has changed a lot during the economic transformation, such as, more autonomy legislation other than restricted legislation, mono-legislative bodies changed into diversity and standardization, legislative process changed from self-contained into civilized, the legislative right changed into clear other than obscure, and the legislative object changed form political into independent, which is obvious to everyone. These changes are one of our research points of economic laws under new situation. The paper also believes that, under the economic transformation, the economic laws’content has got a qualitative progress, including the adjustment of market parties’roles, the market rules direction changes, micro-controlling method changes, and the changes of the social insurance laws and so on. All the great changes prove that the economic law has absorbed new power in the economic transformation. According the economic law theories, the status of the economic law has changed from comprehensive economic law and full relationship adjustment law into economic-administrative law and comprehensive sector act, and further changed into country regulative law and necessity interference theories. The two changes show that the orientation of the economic law is rational. Then, the paper stated new phenomenon and problems from the judicial angle. The paper says that owing to the judicial difficulty and distinction and the real limitation of the Chinese judges and courts, Chinese economic law is still green in trial. The paper analyses these new situations and new problems in the economic law trial and tries to find out suitable solution.Chapter III argues the controlling of the economic law on Chinese economic transformation. In this part, the author perceives economic law great roles in the foundation, construction, regulation and management in the commodity market, capital market and labor market. Then, the paper describes generally the relationship between economic law and ownership structure reformation. In China, economic law has made prominent contribution to the emergence, out-system developing model and system environment safeguard of the non-public sectors of the economy. However, economic law has some evident difference to the market bench and financing environment of the non-public sectors of the economy. Economic law has also exerted much influence on the reform of the public sectors of the economy, especially national enterprises, including state-owned enterprises and state-controlled enterprises. The paper argues that economic law supplies system ensure and guidance to reform depth and breadth of the state-owned enterprises, to the substantive change from government accessory to independent market party, and to the management model, rights ownership and property regulation of the state-owned enterprises. The paper also argues the economic law influence in rural economy reform. The economic law supplies powerful systematically safeguard for the development of vary economic entities, such as the household responsibility system, town and township enterprises, and OECD (Organization for Economic Cooperation and Development) rural. The paper argues more detail about the real effect of all these systems in the variety economic entities function. The paper further argues that tax system, one f economic transformation important balance beam, is in the range of economic law. Tax system has joint into the economic law comprehensive reform, and the long-standing discrimination treatment is diminishing. Last, the paper argues the vacancy, dislocation and reach of the economic law in the government function reform. To more detail, the paper argues that in the early and medium term of the economic transformation, the vacancy and dislocation of the economic led a serious lag of the reform of social distribution and gave no definition and regulation of the government responsibilities on fair and impartial share of reform fruit. In the later stage of economic transformation, the economic law found its place, continuing complete speed up the government function transformation, and guards the economic really fair and social steady.Chapter IV argues the position of the economic law when the economic transformation finished. In this part, the author firstly gives a general introduction of the symbol of the economic transformation completion given by scholars all over the world, they points out the symbol of China economic transformation completion is the establishment of the socialist market economic system. The establishment of the socialist market economic system includes sound operation of market, government and social resource allocation, economic growth model changed from capital and labor promoted to production-driven, the termination of differential treatment between town and country, among districts, among Industries and among enterprises, and legal definition and regulation of government economic interference powers.At last, the author gives the necessary of national economic interference and location of the value thoughts and function of economic law from the thought from the international economic crisis in 2008. The author argues that when the economic transformation is succeed, economic law should be fit with the needs of law, should be public comment, and humanism and effectiveness should be more than enough. The function of economic law should be transferred from cultivating market, monitoring governmental power release and obeying economic reform into effectively maintaining economic orders, guard economic security, reasonably allocating economic resources, balancing economic development, sharing economic benefit fairly. Economic law has more powerful international competitive and efficient, and supply new legal guard and motivate for harmony, balanced, scientific and jointly development of China economy.更多还原